This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.
Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.
Rulemaking Activity Table
Issue Date
|
File Number
|
Rulemaking
|
Status
|
---|---|---|---|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10585,
34-84825,
39-2524,
IC-33324
|
Issue Date: | File Number:S7-11-18 |
Rulemaking:Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Final
Rule
Covered Investment Fund Research Reports
33-10580,
34-84710,
IC-33311
|
Issue Date: | File Number:S7-08-15, S7-04-18 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Final
Rule
Form N-1A; Correction
33-10577
|
Issue Date: | File Number:S7-23-15 |
Rulemaking:Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
|
Status:
Final
Rule
Regulation of NMS Stock Alternative Trading Systems
34-84541
|
Issue Date: | File Number:S7-14-16 |
Rulemaking:Disclosure of Order Handling Information
Trading and Markets
|
Status:
Final
Rule
Disclosure of Order Handling Information
34-84528
|
Issue Date: | File Number:S7-10-16 |
Rulemaking:Modernization of Property Disclosures for Mining Registrants
Corporation Finance
|
Status:
Final
Rule
Modernization of Property Disclosures for Mining Registrants
33-10570,
34-84509
|
Issue Date: | File Number:S7-23-18 |
Rulemaking:Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
|
Status:
Proposed
Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10569
|
Issue Date: | File Number: |
Rulemaking:Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
Corporation Finance
|
Status:
Interim Final
Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
33-10567
|
Issue Date: | File Number:S7-08-12 |
Rulemaking:Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets
|
Status:
Proposed
Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
34-84409
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual; Correction |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual; Correction
33-10566A,
34-84325A,
39-2522A,
IC-33261A
|
Issue Date: | File Number:S7-22-18 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
|
Status:
Proposed
Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-84289
|
Issue Date: | File Number:S7-21-18 |
Rulemaking:Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
|
Status:
Proposed
Rule
Amendment to Single Issuer Exemption for Broker-Dealers
34-84225
|
Issue Date: | File Number: |
Rulemaking:Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
Corporation Finance
|
Status:
Interim Final
Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
33-10556
|
Issue Date: | File Number:S7-14-18 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-4
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to General Counsel of the Commission |
Status:
Final
Rule
Delegation of Authority to General Counsel of the Commission
33-10537,
34-83911,
IA-4994,
IC-33212
|
Issue Date: | File Number:S7-01-17 |
Rulemaking:Amendments to Municipal Securities Disclosure
Municipal Securities
|
Status:
Final
Rule
Amendments to Municipal Securities Disclosure
34-83885
|
Issue Date: | File Number:S7-15-16 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Final
Rule
Disclosure Update and Simplification
33-10532
|
Issue Date: | File Number:S7-19-18 |
Rulemaking:Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
|
Status:
Proposed
Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
33-10526,
34-83701,
33-10762
|
Issue Date: | File Number:S7-18-18 |
Rulemaking:Concept Release on Compensatory Securities Offerings and Sales
Corporation Finance
|
Status:
Concept
Release
Concept Release on Compensatory Securities Offerings and Sales
33-10521
|
Issue Date: | File Number:S7-17-18 |
Rulemaking:Exempt Offerings Pursuant to Compensatory Arrangements
Corporation Finance
|
Status:
Final
Rule
Exempt Offerings Pursuant to Compensatory Arrangements
33-10520
|
Issue Date: | File Number:S7-23-15 |
Rulemaking:Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
|
Status:
Final
Rule
Regulation of NMS Stock Alternative Trading Systems
34-83663
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10518,
34-83614,
39-2521,
IC-33153
|
Issue Date: | File Number:S7-16-18 |
Rulemaking:Whistleblower Program Rules
Enforcement, General Counsel
|
Status:
Proposed
Rule
Whistleblower Program Rules
34-83557
|
Issue Date: | File Number:S7-15-18 |
Rulemaking:Exchange-Traded Funds
Investment Management
|
Status:
Proposed
Rule
Exchange-Traded Funds
33-10515,
IC-33140
|
Issue Date: | File Number:S7-12-16 |
Rulemaking:Smaller Reporting Company Definition
Corporation Finance
|
Status:
Final
Rule
Smaller Reporting Company Definition
33-10513,
34-83550
|
Issue Date: | File Number:S7-03-17 |
Rulemaking:Inline XBRL Filing of Tagged Data
Corporation Finance
|
Status:
Final
Rule
Inline XBRL Filing of Tagged Data
33-10514
|
Issue Date: | File Number:S7-04-18 |
Rulemaking:Investment Company Liquidity Disclosure
Investment Management
|
Status:
Final
Rule
Investment Company Liquidity Disclosure
IC-33142
|
Issue Date: | File Number:S7-09-17 |
Rulemaking:Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
|
Status:
Final
Rule
Amendments to the Commission's Freedom of Information Act Regulations
34-83506,
FOIA-193
|
Issue Date: | File Number:S7-14-18 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-3
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Optional Internet Availability of Investment Company Shareholder Reports
Investment Management
|
Status:
Final
Rule
Optional Internet Availability of Investment Company Shareholder Reports
33-10506
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests |
Status:
Final
Rule
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
34-83325
|
Issue Date: | File Number:S7-11-18 |
Rulemaking:Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Covered Investment Fund Research Reports
33-10498,
34 83307,
IC 33106
|
Issue Date: | File Number:S7-10-18 |
Rulemaking:Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
|
Status:
Proposed
Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
33-10491,
IC-33091,
IA-4904
|
Issue Date: | File Number: | Rulemaking:Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information |
Status:
Final
Rule
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
33-10486,
34-83097,
IC-33077
|
Issue Date: | File Number:S7-09-18 |
Rulemaking:Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
|
Status:
Interpretive
Release
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
IA-4889
|
Issue Date: | File Number:S7-07-18 |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Regulation Best Interest
34-83062
|
Issue Date: | File Number:S7-09-18 |
Rulemaking:Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
|
Status:
Proposed
Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
IA-4889
|
Issue Date: | File Number:S7-08-18 |
Rulemaking:Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
|
Status:
Proposed
Rule
Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
34-83063,
IA-4888
|
Issue Date: | File Number:S7-04-18 |
Rulemaking:Investment Company Liquidity Disclosure
Investment Management
|
Status:
Proposed
Rule
Investment Company Liquidity Disclosure
IC-33046
|
Issue Date: | File Number:S7-05-18 |
Rulemaking:Transaction Fee Pilot for NMS Stocks
Trading and Markets
|
Status:
Proposed
Rule
Transaction Fee Pilot for NMS Stocks
34-82873
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10467,
34-82830,
39-2520,
IC-33041
|
Issue Date: | File Number:S7-03-18 | Rulemaking:Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs |
Status:
Interim Final
Rule
Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
IC-33010
|
Issue Date: | File Number: |
Rulemaking:Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Corporation Finance
|
Status:
Interpretive
Release
Commission Statement and Guidance on Public Company Cybersecurity Disclosures
33-10459,
34-82746
|
Issue Date: | File Number: | Rulemaking:Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers |
Status:
Final
Rule
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
33-7424A
|
Issue Date: | File Number:S7-05-17 |
Rulemaking:Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
|
Status:
Final
Rule
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
IA-4839
|
Issue Date: | File Number:S7-09-14 |
Rulemaking:Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
|
Status:
Final
Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
33-10450
|
Issue Date: | File Number:S7-09-17 |
Rulemaking:Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
|
Status:
Proposed
Rule
Freedom of Information Act Regulations
34-82373,
FOIA-192
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Final
Rule
Investment Company Reporting Modernization
33-10442,
33-9776,
33-10231,
34-82241,
IC-32936
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10444,
34-82246,
39-2519,
IC-32938
|
Issue Date: | File Number:S7-06-17 |
Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
|
Status:
Final
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-10428
|
Issue Date: | File Number:S7-08-17 |
Rulemaking:FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
|
Status:
Proposed
Rule
FAST Act Modernization and Simplification of Regulation S-K
33-10425,
34-81851,
IA-4791,
IC-32858
|
Issue Date: | File Number: | Rulemaking:Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria |
Status:
Interim Final
Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria
33-10416
|
Issue Date: | File Number:S7-07-13 |
Rulemaking:Pay Ratio Disclosure
Corporation Finance
|
Status:
Interpretive
Release
Commission Guidance on Pay Ratio Disclosure
33-10415,
34-81673
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10413,
34-81592,
39-2518,
IC-32818
|
Displaying 501 - 600 of 2709
Modified: Feb. 20, 2024